Series 63 Exam
Series 63 Exam Prep
Uniform Securities Agent Examination Examination Prep Course
 $110.00
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Series 63 Uniform Securities Agent Examination
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$68.90
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Series 63 Uniform Securities Agent Examination Textbook(Pub. 2007, 200+ pages) The Series 63 Textbook provides you with all the information that you need to pass the Series 63 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. |
| $64.94
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Series 63 Uniform Securities Agent Examination
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Exam Info
| Time Limit: | 1 hour and 15 minutes |
| Number of Questions: | 65 questions. 5 of the 65 questions do not count towards your grade as they are pre-test questions for future examinations. Note that the exam does not indicate which questions these are. |
| Passing Score: | 70% |
| Format: | Multiple Choice |
| Enrollment Fee: | $82 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information. |
| Pre-requisites: | There are no prerequisites for registration. If registering as an individual, you must complete Form U-10 online or submit the PDF Version. |
| Corequisites: | N/A |
| Exam Date(s): | Any weekday |
| Exam Locations: | Find your U.S. or international exam center |
| Official Exam Website: | http://www.finra.org/RulesRegulation/index.htm |
Course Description
The Uniform Securities Agent State Law Examination was developed by the North American Securities Administrators Association, Inc. (“NASAA”) in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination entities candidates to sell securities and give investment advice in those states that require Series 63 registration.
The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant’s knowledge and understanding of state law and regulations. This course will give you an understanding of the scope of the Federal Securities Laws, what fraudulent activities are and the provisions for violations.
Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam. The Series 63 test covers topics including: State Registration Laws and Procedure, Penalties and Suspension, Lawful Practices, Definition of terms, Administrator Rules, Fraudulent Practices and Regulatory Oversights.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
Learning Objectives
- Learn the scope of the Uniform Securities Laws
- How does one register for securities and their denial, suspension and revocation
- Learn about the registration of persons in the securities industry
- Which practices are prohibited and considered fraudulent
- Understand the provisions for violations
| $95.94
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Series 63 Textbook and Exam Prep Software PackageThe Series 63 Textbook and Exam Prep Software package is a combination of the Series 63 Textbook and Series 63 Exam Prep Software. If you choose to buy these as a package you will save yourself $20. |
